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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Smith (Smith), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $225,000.00  on May 14, 2026.

Alleging failure to supervise, negligence, breach of fiduciary duty, & misrepresentation of investments purchased in 2019.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hongwei Liu (Liu), previously associated with Ni Advisors, has at least one disclosable event. These events include one customer complaint, alleging that Liu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00  on May 26, 2026.

Claim is for $50,000 investment in the product made during 2024. The issuer subsequently declared bankruptcy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Westerman (Westerman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Westerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,000,000.00  on June 06, 2026.

Claimant alleges, inter alia, that FA recommended outside investment security that was not approved by Morgan Stanley, resulting in losses \\u2014 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ahmad Quqa (Quqa), currently associated with Private Client Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quqa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 24, 2026.

Client alleges the FA placed unauthorized trades in January 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Finch (Finch), currently associated with Emerson Equity LLC, has at least one disclosable event. These events include one customer complaint, alleging that Finch recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $141,146.99  on May 18, 2026.

Negligence, misrepresentation and omissions of material facts, breach of fiduciary duty, violation of Regulation Best Interest (Reg BI), federal securities laws, California Corporations Code, California common law and FINRA Rules 2111 and 2010. Investments purchased 7/21/2022

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victor Torres (Torres), previously associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Torres recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00  on May 26, 2026.

Clients allege unsuitability and misrepresentation by the RR in connection with two VUL policies purchased in 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donna Timmerman (Timmerman), currently associated with Equitable Advisors, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Timmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00  on June 08, 2026.

Client alleges unsuitability and misrepresentation by the RR in connection with REIT purchased in 2017. Appeal received alleging the RR presented an incomplete application to the client for signature which was subsequently completed by the RR with inaccurate information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Nelson (Nelson), currently associated with Emerson Equity LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Nelson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00  on May 18, 2026.

Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the Virginia and Wisconsin Securities Acts and federal securities laws and violation of Best Interest Obligations (Reg BI) traded placed in or around March 2022 for $150,000.00

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Boggess (Boggess), currently associated with Quincy Wells Capital, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Boggess recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,738,509.00  on June 03, 2026.

Violation of federal securities laws, violation of Washington securities act, violation of Washington’s consumer protection act, violation of California securities laws, unfair, unlawful and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Jankowski (Jankowski), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jankowski recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $265,000.00  on May 23, 2026.

Customer alleges unsuitable investment recommendation regarding managed account. Activity dates 7/8/2016 – 7/8/2016

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